Broker-Dealer Companies

A broker-dealer’s primary business is trading securities for its own account or on behalf of its customers. Although many broker-dealers are “independent” firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks, or investment companies. When executing trade orders on behalf of a customer, the institution is said to be acting as a “broker”. When executing trades for its own account, the institution is said to be acting as a “dealer”. Many broker-dealers choose to undergo a SSAE 16 audit as a way to provide transparency to their internal controls.

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SSAE 16 Professionals has assembled top tier leadership to help our clients through the SSAE 16 (SOC 1) and SOC 2 audits.  For further information regarding SSAE 16 reports or to request a fee proposal from SSAE 16 Professionals, please visit our Contact Us page  to submit an informational form or call 866.480.9485 today.  We look forward to hearing from you!